0000950123-11-074291.txt : 20110808 0000950123-11-074291.hdr.sgml : 20110808 20110808135046 ACCESSION NUMBER: 0000950123-11-074291 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110802 ITEM INFORMATION: Entry into a Material Definitive Agreement ITEM INFORMATION: Unregistered Sales of Equity Securities FILED AS OF DATE: 20110808 DATE AS OF CHANGE: 20110808 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALSERES PHARMACEUTICALS INC /DE CENTRAL INDEX KEY: 0000094784 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 870277826 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-06533 FILM NUMBER: 111016554 BUSINESS ADDRESS: STREET 1: 239 SOUTH STREET CITY: HOPKINTON STATE: MA ZIP: 01748 BUSINESS PHONE: 508-497-2360 MAIL ADDRESS: STREET 1: 239 SOUTH STREET CITY: HOPKINTON STATE: MA ZIP: 01748 FORMER COMPANY: FORMER CONFORMED NAME: BOSTON LIFE SCIENCES INC /DE DATE OF NAME CHANGE: 19950706 FORMER COMPANY: FORMER CONFORMED NAME: GREENWICH PHARMACEUTICALS INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: STRATEGIC MEDICAL RESEARCH CORP /DE DATE OF NAME CHANGE: 19790521 8-K 1 b87617e8vk.htm FORM 8-K e8vk
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
 
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): August 2, 2011
ALSERES PHARMACEUTICALS, INC.
 
(Exact Name of Registrant as Specified in Charter)
         
Delaware   0-6533   87-0277826
         
(State or Other Juris-
diction of Incorporation 		  (Commission
File Number) 		  (IRS Employer
Identification No.)
     
239 South Street, Hopkinton, Massachusetts   01748
     
(Address of Principal Executive Offices)   (Zip Code)
Registrant’s telephone number, including area code: (508) 497-2360
(Former Name or Former Address, if Changed Since Last Report)
     Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions ( see General Instruction A.2. below):
o   Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o   Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o   Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o   Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
 

 

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Item 1.01. Entry into a Material Definitive Agreement
Item 3,02 Unregistered Sales of Equity Securities.

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Item 1.01.   Entry into a Material Definitive Agreement
On August 2, 2011, Alseres Pharmaceuticals, Inc. (the “Company”), entered into Settlement Agreements with Henry Brem, Gary Frashier, Robert Langer and John Preston pursuant to which the Company agreed to satisfy certain outstanding obligations to these individuals which, in aggregate, totaled $358,500 by issuing a total of 358,500 shares of its common stock to said individuals.
Item 3,02   Unregistered Sales of Equity Securities.
On August 2, 2011 the Company, pursuant to the Settlement Agreements referenced in Item 1.01 above, the following shares of its common stock:
Henry Brem 50,000
Gary Frashier 72,500
Robert Langer 146,000
John Preston 90,000
The common stock was offered and sold in a private placement to accredited investors without registration under the Securities Act, or the securities laws of certain states, in reliance on the exemptions provided by Section 4(2) of the Securities Act and Regulation D promulgated thereunder and in reliance on similar exemptions under applicable state laws.
         
  Alseres Pharmaceuticals, Inc.
 		  
Date: August 8, 2011  By:   /s/ Kenneth L. Rice, Jr.    
    Kenneth L. Rice, Jr.   
    Executive Vice President, Finance and Administration and Chief Financial Officer   
 

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